Soreide Law Group is investigating possible investor claims against David S. Wells (also known as David Sheldon Wells) (CRD: 6774493, Mount Prospect, Illinois). Evidently, DOJ and SEC filed against the securities broker, who worked for Fifth Third Securities Inc. Allegedly, Wells misappropriated funds, but the matters are ongoing and he denies the allegations. Here is […]

Soreide Law Group is investigating possible investor claims against Daniel Richard Hajduk (CRD: 830330, Mount Prospect, Illinois). Notably, FINRA sanctioned the securities broker, who worked for Coordinated Capital Securities Inc. Allegedly, Hajduk failed to testify when FINRA carried out an investigation. Here is a brief summary of FINRA’s allegations against Hajduk. FINRA Bars Daniel Hajduk […]

Soreide Law Group is investigating possible investor claims against securities broker Kyle Zachary Wittgren (CRD: 6221630, Frisco, Texas). Evidently, Minnesota sanctioned the securities broker, who worked for NYLife Securities LLC. Allegedly, Wittgren made misrepresentations and falsified client information. Here is a brief summary of Minnesota’s allegations against Wittgren. Minnesota Bars Wittgren For Misrepresentation Particularly, on […]

Soreide Law Group is investigating possible investor claims against securities broker Hans Patrick Kulicke Eveillard (CRD: 7190141, Sarasota, Florida). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Northwestern Mutual Investment Services LLC. Evidently, investors allege sales practice violations in these disputes, including […]

Soreide Law Group is investigating possible investor claims against securities broker Jason Hamby (also known as Jason Patrick Hamby) [CRD: 3089278, Blacksburg, VA]. Mainly, FINRA sanctioned the securities broker, who worked for Allstate Financial Services LLC. Allegedly, Hamby failed to testify when FINRA investigated the securities broker for potential FINRA rule infractions. Here is a […]

Soreide Law Group is investigating possible investor claims against securities broker Jonathan Adam Stuffer (also known as Jon Stuffer) [CRD: 6015954, Staten Island, New York]. Notably, FINRA sanctioned the securities broker, who worked for J.P. Morgan Securities LLC. Allegedly, Stuffer failed to testify during an investigation into possible FINRA rule violations. Here is a brief […]

Soreide Law Group is investigating possible investor claims against securities broker Matthew Smith [CRD: 2688706, Clifton Park, New York]. Evidently, FINRA filed an enforcement or civil action against the securities broker, who worked for Securities America Inc. Allegedly, Smith failed to testify during an investigation into possible FINRA rule violations. Here is a brief summary […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Janie Garza-Clark (also known as Janie Clark and Janie Garza) [CRD: 1010752, Scottsdale, Arizona]. Not only has FINRA sanctioned Clark for her failure to testify in an investigation, but investors disputed the sales practices of the securities broker. However, Clark denies the allegations. […]

Soreide Law Group is investigating possible investor claims against securities broker Jonathan Rich AKA Jonathan Craig Rich [CRD#: 2271478, New York, NY]. Notably, FINRA sanctioned the securities broker, who worked for National Securities Corp. Allegedly, Rich failed to testify when FINRA investigated the stockbroker for possible violations of FINRA rules. Here is a brief summary […]